SEC Form 4 · accession 0001209191-16-149925
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Gorman
Officer — Chairman and CEO · Director
Period of report
Nov 11, 2016
Accepted (ET)
Nov 14, 2016 · 6:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000895421
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 11, 2016 | M | 200,000 | $22.98 | A | 1,566,192 | D | |
| Common StockF1 | Nov 11, 2016 | S | 200,000 | $37.7023 | D | 1,366,192 | D | |
| Common Stock | holding | — | — | — | 1,622 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 40,115 | I | By Grantor Retained Annuity Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $22.98 | Nov 11, 2016 | M | 200,000 | D | — | Jan 22, 2018 | Common Stock | 200,000 | 284,827 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.56 to $37.88, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2Options vested and became exercisable in three equal annual installments beginning on January 27, 2014.